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Governance

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Organization Structure

Organization Structure of Takara Asset Management

Compliance

Takara Asset Management Co., Ltd (TAM) is strive to respect and follow all of legislation, regulation, industry standards, and social ethics. TAM strives to maintain high level compliance

TAM maintains compliance measure policy effective through authority of the board of meeting, compliance officer, compliance division and consultation office.

Policies against Conflict of Interest

TAM has established policies against conflict of interest to prevent any transactions which deemed to unnecessary in nature or may pose adversely impact on the Investment Corporation and/or parties.

Any transactions between parties that may have conflict of interest will required to follow all of the relevant regulations and internal rules and will fully and carefully reviewed under compliance division, investment committee and the board of meeting.

Policies against Conflict of Interest among the Funds

In order to maintain fair operation between funds in TAM sets a reasonable measure to handle asset information that may matches the investment target of the Investment Corporation and the private equity fund.

On the basis, the private equity fund will yield to Investment Corporation for asset transaction priorities. In addition, compliance officers are required to monitor this policy and semiannually report the status of monitoring at the compliance committee and the board of meeting

Timely Disclosure

It is TAM’s principle policy to disclose information on accurate and timely manner with respecting investors’ interest. TAM ensures to establish and maintain disclosure rule.

Any important information subject to the timely disclosure and legal disclosure and other information that could impact investment decisions, to be disclose promptly and fairly.

Internal Supervision

Internal audit and its enforcement has and always will be TAM’s top priority and essential principle for maintaining our autonomous management of business operation.

TAM ensures to allot essential resource for conduct of internal audit in order to maintain internal audit

Whistleblowing System

TAM clearly states in the relevant regulations that any persons report serious misbehaviors, illegal or unethical practice within the TAM will not receive any adverse treatment and ensure privacy of who submitted report in order to combat any inappropriate practices and strength compliance-based operation of business.